WebJul 11, 2024 · Having worked with SEC enforcement and NASD (now FINRA) arbitration, my background also includes government securities … WebAbout Maureen As a seasoned hearing officer, trial attorney, and former law instructor, my work now focuses on effectively managing teams responsible for adjudicating disciplinary proceedings.
Patricia Delk-Mercer - Senior Director and Counsel - FINRA
WebJun 5, 2015 · Program Beginning in July Features Leading Professors in Securities Law, Business Ethics and Corporate Compliance . June 5, 2015. Philadelphia, PA: The Wharton School of the University of Pennsylvania and the FINRA Institute at Wharton are marking their 15th year offering securities industry compliance and regulatory professionals the … WebBoth firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Firms must meet certain membership standards … hanse finanzservice
Ashley Benton-Cooper , IACCP® - Regulatory …
WebSep 1, 2011 · We hope that this information has been helpful to you. Should you have any additional questions or concerns, please feel free to contact Daniel E. LeGaye or Michael Schaps by e-mail or phone, at 281-367-2454, or consult with your legal counsel or compliance consultant. WebJun 19, 2024 · finra rule 3130 (annual professional of compliance and supervisory processes) Announced in Juniors 19, 2024 Month 1, 2024 by SCM Communications FINRA Rule 3130 (formerly known as NASD Rule 3013) requires the CEO for CERTIFY that the firm has an PROCESSES to adopt reasonable Supervisory Policies and Procedures. WebThe NRS Investment Adviser Certified Compliance Professional® (IACCP®) designation is awarded to knowledgeable, experienced … chad j smith